Security maturity assessment method

ABSTRACT

A method for assessing an information security policy and practice of an organization, including determining a risk associated with the information security policy and practice, collecting information about the information security policy and practice, generating a rating using a security maturity assessment matrix, the collected information, and the risk associated with the information security policy and practice, generating a list of corrective actions using the rating, executing the list of corrective actions to create a new security information policy and practice, and monitoring the new security information policy and practice.

BACKGROUND OF INVENTION

[0001] Information Security encompasses the protection of information against unauthorized disclosure, transfer, modification, or destruction, whether accidental or intentional. Information security has become a prevalent concern of organizations as a result of the trends towards e-commerce, e-business, universal email and web access, and well-publicized security exploits. As a result, organizations are attempting to apply information security principles in a pragmatic framework.

[0002] To enable organizations to apply information security principles in a pragmatic framework, a number of information standards and tools have been developed. One widely recognized standard, BS7799/ISO17799, was developed by the British Standards Institution (BSI) and adopted by the International Organization for Standardization (ISO). The BS7799/ISO17799 standard is a comprehensive set of controls that outline best mode practices in information security. The aim of BS7799/ISO17799 is to serve as a single reference point to determine the appropriate information security policy for a variety of systems and organizations. The BS7799/ISO17799 standard includes 10 sections, each addressing a specific area of information security. See, “ISO17799 Security Standard: ISO 17799 Compliance & Positioning,” http://www.securityauditor.net/iso17799/.

[0003] The process of managing compliance with the BS7799/ISO17799 is a non-trivial task. As a result, a number of risk analysis and risk management products have been developed to help organizations comply with the BS7799/ISO017799 standard. One such product is COBRA, which was developed by C & A Systems, Inc. COBRA is used to semi-automate the assessment process. COBRA utilizes a series of online questionnaires to obtain information about the current security policy. Using the answers from the questionnaires, COBRA creates reports that provide information about the organization's current compliance position, on a pass/fail basis, with respect to each section of the BS7799/ISO17799 standard.

[0004] Another tool that has been developed to enable organizations to apply information security principles in a pragmatic framework is the Systems Security Engineering Capability Maturity Model (SSE-CMM). The SSE-CMM is derived from concepts of the Software Engineering Institute (SEI) Capability Maturity Model initially created for software development. The SSE-CMM describes the essential characteristics of an organization's security engineering process that must exist to ensure good security engineering. The SSE-CMM does not prescribe a process or standard such as BS7799/ISO17799, but rather uses a model that captures practices generally observed in the industry. Additionally, the SSE-CMM is based on a maturity model that defines specific goals and practices for the entire life cycle of an organization. Further, the SSE-CMM defines an overall assessment process and roles for security engineering within an organization. See, “System Security Engineering Capability Maturity Model-Model & Appraisal Method Summary April 1999,” http://www.sse-cmm.org/. The resulting assessment obtained from applying the SSE-CCM is typically not associated with a reporting tool to report the maturity level.

SUMMARY OF INVENTION

[0005] In general, in one aspect, the invention relates to a method for assessing an information security policy and practice of an organization, comprising determining a risk associated with the information security policy and practice, collecting information about the information security policy and practice, generating a rating using a security maturity assessment matrix, the collected information, and the risk associated with the information security policy and practice, generating a list of corrective actions using the rating, executing the list of corrective actions to create a new security information policy and practice, and monitoring the new security information policy and practice.

[0006] In general, in one aspect, the invention relates to an apparatus for assessing an information security policy and practice of an organization, comprising means for determining a risk associated with the information security policy and practice, means for collecting information about the information security policy and practice, means for generating a rating using a security maturity assessment matrix, the collected information, and the risk associated with the information security policy and practice, means for generating a list of corrective actions using the rating, means for executing the list of corrective actions to create a new security information policy, and means for monitoring the new security information policy.

[0007] In general, in one aspect, the invention relates to a computer system for assessing an information security policy and practice of an organization, comprising a processor, a memory, an input means, and software instructions stored in the memory for enabling the computer system under control of the processor, to perform determining a risk associated with the information security policy and practice, collecting information about the information security policy and practice using the input means, generating a rating using a security maturity assessment matrix, the collected information, and the risk associated with the information security policy and practice, generating a list of corrective actions using the rating, executing the list of corrective actions to create a new security information policy and practice, and monitoring the new security information policy and practice.

[0008] Other aspects and advantages of the invention will be apparent from the following description and the appended claims.

BRIEF DESCRIPTION OF DRAWINGS

[0009]FIG. 1 illustrates a typical computer system.

[0010]FIG. 2 illustrates a flowchart detailing the Security Maturity Assessment method in accordance with one embodiment of the invention.

[0011]FIG. 3 illustrates a portion of a Security Maturity Assessment Reporting Tool report in accordance with one or more embodiments of the invention.

[0012]FIG. 4 illustrates a flowchart detailing the Security Maturity Assessment method in accordance with another embodiment of the invention.

DETAILED DESCRIPTION

[0013] Exemplary embodiments of the invention will be described with reference to the accompanying drawings. Like items are denoted by like reference numerals throughout the drawings for consistency.

[0014] In the following detailed description of the invention, numerous specific details are set forth in order to provide a more thorough understanding of the invention. However, it will be apparent to one of ordinary skill in the art that the invention may be practiced without these specific details. In other instances, well-known features have not been described in detail to avoid obscuring the invention.

[0015] The invention relates to a method for assessing a security maturity of an organization. Further, the invention relates to assessing the security maturity of an organization using a security assessment matrix. Further, the invention relates to basing the security assessment matrix on the BS7799/ISO17799 standard and the Capability Maturity Model (CMM). Further, the invention relates to a method for providing quantitative, action-oriented results using the security assessment matrix. Further, the invention relates to a method to compare the security maturity of an organization to a pre-determined goal, or to the security maturity of the same organization at another point in time, or to the security maturity level mandated by another organization or authority.

[0016] The invention may be implemented on virtually any type computer regardless of the platform being used. For example, as shown in FIG. 1, a typical computer (28) includes a processor (30), associated memory (32), a storage device (34), and numerous other elements and functionalities typical of today's computers (not shown). The computer (28) may also include input means, such as a keyboard (36) and a mouse (38), and output means, such as a monitor (40). Those skilled in the art will appreciate that these input and output means may take other forms in an accessible environment.

[0017] The Security Maturity Assessment (SMA) method involves five distinct stages: (1) management awareness and commitment, (2) security maturity assessment, (3) corrective action plan (CAP), (4) corrective action plan execution (CAPE), and (5) ongoing monitoring. Each of the aforementioned stages is explained below in greater detail. Those skilled in the art will appreciate that the names used to denote the stages may vary without detracting from the invention.

[0018]FIG. 2 illustrates a flowchart detailing the SMA method in accordance with one embodiment of the invention. The SMA method is initiated by ensuring that an organization's management is aware and committed to improving the organization's information security practices and policies (Step 100). An assessment entity (e.g., individual/company conducting assessment) then assesses the organization's information security practices and policies (Step 102). Using the information gained in Step 102, the assessment entity develops a corrective action plan (Step 104). The corrective action plan is subsequently executed (Step 106). If the organization desires continuous monitoring after the execution of the corrective action plan (Step 108), then the assessment entity may continuously monitor revised information security policies and practices of the organization (Step 110). Following the continuous monitoring, the method may return to Step 100 to ensure that the organization's management is still aware and committed, or potentially proceed directly to Step 102 if the organization's management continues to be aware and committed. If the organization desires not to have continuous monitoring after the execution of the corrective action plan (Step 108), then the method ends.

[0019] The management awareness and commitment stage is the first stage of the SMA method and is used to raise awareness within the management of the organization being assessed and to initiate gathering of information. Specifically, in the management awareness and commitment stage, an assessment entity gathers information to understand the organization's business goals. Further, the assessment entity gathers information to understand the associated risks in terms of information security. For example, if the organization is using a wireless Local Area Network (LAN), there are different information security risks to consider than if the organization is using a conventional LAN where all computers are connected via Ethernet cable. Additionally, the assessment entity creates awareness in the organization by presenting the security maturity assessment methodology and method. In one or more embodiments of the invention, the assessment entity may also provide additional information about the underlying standards, e.g., the ISO standard. In one or more embodiments of the invention, the assessment entity may also provide an explanation of the concept of a maturity model as it applies to the security assessment.

[0020] The security maturity assessment stage is initiated by the assessment entity identifying participants required to perform the SMA. Additionally, the assessment entity, in conjunction with the organization, determines the effect and cost to be used to perform the SMA. A time line is also set to allow the assessment entity and the organization to have a means to track the progress of the SMA. At this point, in one or more embodiments of the invention, the assessment entity may request that the organization sign an assessment contract to ensure commitment by the organization to follow through with the SMA. Once the aforementioned steps have been completed, the assessment entity proceeds to perform the SMA.

[0021] The assessment entity initiates the SMA by collecting documents detailing the organization's existing information security policies and practices. After review of the collected documents, additional information is typically obtained via interviews with participants identified at the beginning of this stage. Using the information obtained from the collected documents and the interviews, a preliminary rating is generated. The preliminary rating details the maturity of individual sections and the overall maturity level of the organization's information security practices and policies.

[0022] In one or more embodiments of the invention, the preliminary rating is generated using a security assessment matrix (SAM). The SAM defines each level of maturity for each information security item. The SAM includes 61 rows corresponding to the groups of the BS7799/ISO17799 standard information security items, and 5 columns defining the maturity level. The five maturity levels, arranged from least mature to most mature, are Initial (Level 1), Repeatable (Level 2), Defined (Level 3), Managed (Level 4), and Optimizing (Level 5). For each intersection of row and column, there is a paragraph that defines a specific “capability maturity” level. The paragraphs contained in a given row of the SAM represent successive capability maturity levels for the same information security item. Further, some rows of the SAM represent successive capability maturity levels associated with a single information security item, as described in one paragraph of the BS7799/ISO17799 standard. Other rows of the SAM may represent successive capability maturity levels of information security items that the BS7799/ISO17799 standard describes in separate paragraphs or sections.

[0023] In one or more embodiments of the invention, an item definition for each information security item is included in the SAM. The item definition acts as a legend for the level definitions for a particular information security item. Further, in one or more embodiments of the invention, the SAM includes level definitions as follows: Level 1—Initial; Level 2—Not written down, but communicated via coaching; Level 3—Written down; Level 4—Responsibility is defined; Level 5—Process exists for catching deviations and improving the information security to prevent them. Further, in one or more embodiments of the invention, the SAM includes scope requirements. The scope requirements indicate to which various aspect of an organization's operations the criteria set forth in a particular row of the SAM must be applied.

[0024] The combination of a certain level definition (e.g., Level 1) with one information security item (i.e., a specific row of the SAM) yields a specific criterion that one skilled in the art can apply to establish if the organization being assessed meets, fails or exceeds this level of maturity for this information security item. Furthermore, those skilled in the art can apply the general definition of the maturity level (Level 1 through 5) to a specific information security item in such a way that they can readily determine whether the organization being assessed meets, fails or exceeds this level of maturity for this security item, even if the specific criterion set forth at the intersection of this row and column of the SAM is, for any reason, not directly applicable in the case of this organization.

[0025] Table 1 illustrates the SAM in accordance with one or more embodiments of the invention: TABLE 1 Security Assessment Matrix Level Definitions Level 2 (Repeatable) Level 5 Not written Level 4 (Optimizing) down, but Level 3 (Managed) Process exists for catching ISO 17799 Item Level 1 communicated (Defined) Responsibility is deviations and making Scope Categories Definitions (Initial) via coaching Written down defined constant improvements Requirements III.1 Information Coverage of No security Security policy Specific Security policy Clear responsibilities and Goal and principle of Security Policy Security Policy policy in exists, but as a policy exists, covers all areas of mechanisms in place to every information security Review of effective place general clearly stating business. Security upgrade policy if required Information sharing implementation of statement. in detail what policy is owned by after every breach of management and information security Inferring what is mandated appropriate functions policy, also if business responsibilities policy is specifically or prohibited. including IT but also changes (acquisition, Review of mandated or A “normal” Finance, HR, Legal, divestiture, or major changes Information prohibited person can etc. Organization in process such as Security Policy requires easily policies define the outsourcing) occur. consulting understand it. roles and responsibilities in specialized Reviews following procedures. personnel. No carried out at Reviews regular reviews. intervals, but carried out - intervals no clear and responsibility for management the reviews are responsibility defined explicitly in the to trigger policy. reviews or exploit results Availability of No security Security policy There is a Security policy Each security incident is Staff awareness and Security Policy to policy is discussed Security communication is subject to a post mortem education Employees communication with employees Policy part of written IT and procedure that includes a Responsibilities and emergency Security Education to and contract or manual, Personnel procedures. review of whether applicable arrangements and Technical employees temporary mentioned on Training and/or policies were Well defined policy Training (non- personnel upon public notice communication on correctly communicated. Security training integrated into existent, or hiring. board and/or security policy occur at least Users are taught the personnel development program limited to on web page. once a year. incident reporting procedures. Management IT responsibility to provide security personnel). training, including the specification of a clear desk and clear screen policy for all employees. Review of Security Issued once, Occasionally Reviewed at A clearly There is a defined General management Process never reviewed if intervals, but designated person mechanism to responsibility reviewed senior no clear or body has review and management, management responsibility for upgrade the auditors, etc., responsibility the process, and policy after every ask to trigger reviews it regularly. security incident reviews of (is anything missing exploit results from the policy that could have prevented the problem?) IV.1 Information Responsibility for No Specific A matrix for A specific party is Security Individual Security the protection of responsibility individuals are the responsible for responsibility is a assets refer to Infrastructure individual assets is assigned. aware of their responsibility defining and required field in the responsibility of protection maintaining the the asset organization's to protect some of assets responsibility management process, so rows physical assets. The list exists and is matrix for the in the matrix are created when assets (e.g., of assigned published. protection of new assets are acquired. Assets computers, responsibilities individual assets. without a responsible party is printers, is not Successive immediately flagged for media, etc.) documented. versions of the matrix are corrective action. archived to help in future investigations. Security in job No formally Specific Responsibility A specific party is Job descriptions Interpretation definition and defined individuals are for security responsible for and personnel is based on resourcing process. aware of their decision developing job screening SSO/IRT responsibility. making has responsibilities, arrangements are type position. been assigned personnel periodically and screening and reviewed to documented. confidentiality conform to the agreements. changing security needs of the business. Also personnel are required to sign and agree to confidentiality agreements. Information security No formally Key members Training for A specific party is Security curriculum is education and defined of personnel personnel is responsible for periodically reviewed to training training plan are trained on defined and defining the conform to the changing an ad-hoc performed training plan needs of the business. basis. periodically. developing Training records are reviewed training schedules against policy and exceptions for all personnel lead to training program updates. Approval process No approval Informal, A clear A specific party is The approval for the acquisition process undocumented approval responsible for process is and installation of exists. knowledge of process is defining and periodically IT facilities. steps to be defined for maintaining the reviewed to followed when the approval process conform to the acquiring or acquisition for IT facility changing needs installing IT and acquisition and of the business. facilities exists. installation of installation. The approval IT facilities process for each and published acquisition and across the installation of IT enterprise. facilities is reviewed for accuracy and corrective action is taken where appropriate. IV.2 Security of Security Control of No control Physical access The access Third-party access The access logs Third Party Third Party Access mechanism control allows control rules is linked to the rest and the list of Access to Information ad hoc are of the authorized third Processing Facilities decisions by IT documented. organization's parties is staff, who have There is a security system regularly audited been told formal through the and changes to informally contract with issuance of access procedures is what to do. each party tokens, and made when the that requires accesses are need arises. access. logged. IV.3 Outsourcing Security Controls None; IT, Security, The There is a registry Procedures are Critical applications for External contractors Legal, or procedures for of contractors. reviewed on at stay in house Contractors are handled Purchasing contractor They sign the least an annual Approval of business owners. by task apply some security are security policy, basis for possible Implications for business owner regular steps documented NODE and IP improvements. continuity plans. without when a in writing and agreements. Security standards and specific contract is personnel and Audits are run at compliance policies or issued. These managers least quarterly to Security incident procedures. procedures. steps are not have access to make sure the list specifically them and are of contractors is documented. aware of their current. The contents. owner of the process is defined. V.1 Accountability Coverage of Asset No inventory Manual Inventory Schedule, triggers, There is a process Information for Assets Inventory inventory, performed roles and to review what Asset Maintenance occasional, on according to responsibly, are happened after Inventory demand. written defined. each inventory. Software procedures, Ownership is clear Inventories are Asset but schedule and known incremental, not Inventory and triggering throughout the IT from scratch Physical events are not organization and every time. Asset Asset well defined. management. inventories are Inventory Typically not automated. Services automated. Inventory Ease of Alteration Information There is There is a There are control There is a Printed of Information assets can be informal documented mechanisms (e.g., mechanism in Reports Assets altered knowledge that change access controls) to place to review Screen without classified procedure that prevent alteration the effectiveness Displays control documents applies to all without proper of the change Magnetic cannot be classified authorization. control process Media altered at will, information and detect the Electronic but no assets. No need for Messages systematic systematic improvements. File Transfers procedures. control mechanisms in place. Coverage of No Covers some There is an Information Information Information Information procedures in information Information handling handling training Asset Handling place for assets. Little Handling procedures are is part of written Inventory Procedures handling formality. No manual, owned by IT and Personnel Software information. regular mentioned on appropriate procedures. Asset reviews. the public functions including Processes in Inventory Applied by few web page, and IT but also place to report Physical business units. covering Finance, HR, and learn from Asset essentially all Legal, etc. cases when Inventory types of assets Organization information has Services and all policies define the been handled Inventory business roles and incorrectly. Printed units. responsibilities in Reports following Screen procedures. Displays Magnetic Media Electronic Messages File Transfers (“Handling” = copying, storage, electronic transmission, spoken transmission, destruction) V.2 Information Classification of No Ad hoc Information Ownership of the Security Printed Classification Information Assets classification classification, asset classification is classification is Reports Labeling of at document classification clearly defined as reviewed Engineering Information Assets owner's is published part of company periodically. List files (photos, initiative. and “pushed” procedures and is of documents microfiche, Most to all potential known of with highest etc.) documents not document management. classification is Screen marked. If owners. It reviewed Displays marked, labels covers periodically. Magnetic are security. Declassification Media inconsistent. Classified procedures exist. Electronic No systematic information is Messages File Transfers awareness labeled, campaign. consistently. VI.1 Security in Job Screening of Incomplete Screening of Documented and A specific party is Procedures are Applicant Definition and new or a lack of applicants is published responsible for reviewed regularly refers to all Resourcing applicants. screening of performed procedures for defining and for improvements employees Complete applicants. informally, is applicant maintaining the and compliance. (contractor, checking of Contractor not documented, screening exist screening procedure. Security issues found permanent, the new hiring are and is not and are used by Results of the to be related to or part time) applicant's not vetted performed the organization. screening are failings in the CV. through HR. consistently. captured in the screening procedure Screening of applicant's HR file. mandate immediate contractor review and update of and the procedure. temporary staff VI.2 User Training Security Little Discussed with Documented in Roles and Audits of the security awareness of awareness of employees and writing and made responsibilities to acknowledgments are personnel corporate contract or available to all maintain and performed. A system security. temporary staff. Employees communicate the of re- personnel upon receive a copy of security policy are acknowledgment hiring. security policy on defined. occurs periodically hiring and are Acknowledgement and upon changes to required to of the policy is the security policy. acknowledge tracked and stored Incidents are receipt. as part of the HR analyzed for policy of the performance employee. improvement to the security awareness procedures. Security No education Security Security A specific party is Training plans are education or training is education and education is responsible for periodically reviewed and technical provided. technical documented and defining and to conform to the training training are not included as part maintaining the changing needs of the provided of the hiring security education business. Training consistently and process. and technical records are reviewed the Technical training program. against policy and responsibility is training roadmaps Training records are exceptions lead to at the discretion exist for each captured in the corrective actions. of management. employee. employee's file. Review and planning for future training is part of the appraisal process. VI.3 Responding to Disciplinary None Managers have The definition of The documented After each incident Security Process for documented. intuitive violations, process includes that causes the Incidents and Company Reaction is awareness of investigation roles and procedure to be Malfunctions Security ad hoc. need, can quote process, and list responsibilities for invoked, the process Violation multiple levels of applicable each step, and a is reviewed and, of penalty, penalties is clear workflow. when applicable, the including but not documented, process is revised limited to firing. distributed, (including the Managers and signed by the training or the HR appropriate penalty clauses). independently parties, and agree on how to personnel has initiate and been educated as conduct to the content. disciplinary actions. VII.1 Secure Areas Protection The IT Access control is List of secure All access to secure Auditing of access from equipment is provided on an perimeters and IT areas is control system logs is unauthorized left ad hoc basis access rights to performed by a done periodically. access. unattended typically by IT those areas are mechanism (e.g., Changes in facilities Physical with no manager. No documented and badge access control and management entry control controls defined list of published. system) that allows trigger a review and to office, beyond access rights is for personal revision of the access room. physical published or identification and procedures. Physical building managed. auditing. Access security for access. control is managed IT facilities. centrally for granting and revoking rights and is linked to hiring and termination policies. VII.2 Equipment Fire alarm The fire Procedures for The fire alarm Reaction to actual Security system in not alarm system the fire alarm system is tested. alarms is reviewed present. exists and system are Procedures exist and improvements people have visible and for evaluation of implemented into been posted, the fire alarm the current system informally including system including and alternative made aware evacuation path, damage systems reviewed of the behavioral assessment and where necessary. system. actions, Halon recovery, warnings, etc. evacuation headcount, etc. Personal No policies Policies for There is a A specific party is The personal workstation for personal personal documented responsible for workstation policy is policy workstations workstations policy for defining and regularly reviewed to exist. exist but are not personal maintaining the ensure it conforms to published or workstations and personal the changing needs of adopted fully steps are taken to workstation the business. Personal across the spread its policy. workstation needs are organization. awareness among Sensitive reviewed and changes employees. information is are made where protected by necessary. Audits are means of carried out to ensure encryption. that the organization maintains a recognized workstation policy to ensure efficient management. Protection There are no There is an There is a formal A specific party is The safety threat policy from procedures informal safety documented responsible for is regularly reviewed to environment in place to threat protection policy in place. It defining and ensure it conforms with al threats and protect from policy in place. details all the maintaining the the changing needs of hazards. safety threats This is not steps that need to safety threat the business. The Protection or hazards. enforced be followed to control guidelines. policy is regularly from human throughout the protect from reviewed and changes carelessness organization and potential hazards. are made where (eating, the details of the necessary to ensure smoking, policy are not continued compliance. drinking). documented. Protection from power and communication cabling from interception or damage. VII.3 General Controls Inspection of Incoming There is no There is a A responsible The key goods incoming goods are formal process documented party is identified screening process is goods for not to inspect process whereby to manage the regularly reviewed to hazards inspected. incoming goods. all incoming processes and ensure they conform to It is carried out goods are procedures for the changing needs of in an adhoc inspected per a inspecting the business. Goods manner. defined plan. incoming goods screening needs are for safety reviewed and changes compliance. are made where necessary. The organization maintains historical files of incoming goods; these are regularly reviewed to ensure that there are no discrepancies. Process of There is no An informal A formal process An inventory of Audits of the removal of standardized process exists is documented organizational organization's property organization's procedure for property and published the property is are carried out property for removal removal. to organization maintained and periodically and of property. for property updated regularly. changes to the removal removal. A group or process are made individual is where necessary. identified to verify that the process is followed. Equipment There are no Equipment Equipment is A responsible Record of equipment maintenance equipment maintenance is covered by party is identified maintenance is maintenance carried out on an insurance and the to oversee examined to determine policies and ad hoc basis equipment equipment fault patterns or abuses. the based on maintenance maintenance Appropriate changes equipment manufacturer controls the policies are are incorporated into maintenance recommended determination of followed. the maintenance is done only service intervals risk. policies. on failure. Sensitive Data Data disposal Data disposal A responsible The disposal procedure data disposal disposal procedure is procedure is party is identified is audited regularly and procedure procedure is informally formally defined to oversee that the appropriate steps not defined. defined. and published to disposal procedure incorporated into the the organization. is followed. procedure. VIII.1 Operational Management None —each Common Documented in Roles and Procedures include a Reporting Procedures and Responsibilities incident is awareness of writing and made responsibilities are mechanism to evolve procedures Responsibilities and handled ad procedures. available to all IT defined. them. Incidents are cover: Procedures hoc on a best Effort for staff (and other Escalation and analyzed to suggest All types of Incident effort basis. repeatability department staff reporting chains improvements. There security Reporting includes staff with IT roles) exist. Issues and is a quality incident Procedures meetings, requests are improvement process, Contingency training recorded as documented and plans sessions, trouble tickets. applied. Audit trails coaching and similar Recover actions and authority VIII.2 System Planning Testing of None; new Testing is A formal The responsibility Policy is Includes issues and Acceptance new systems are informal and is document to define, review, periodically of capacity information placed in performed based defining the and ensure reviewed and planning and systems operation on individuals' testing and compliance with revised upon any Systems requirements without any knowledge, not deployment of the testing policy change in the Acceptance. and upgrades formal test on a formal new and is defined. There production systems Issues to be prior to procedure. process. upgraded systems are system level or organizational considered deployment is defined. tools that prevent structure. Testing include: unauthorized methodology and Performance changes to tools are and Computer production continuously Capacity systems. examined to Requirements Documents exist determine Error Recovery detailing applicability to the and Restart interfaces into the organization and Procedures change then introduced. Security management Controls/Issues process. Manual Processes Business Continuity Arrangements Additional Load on existing machines Training in the operation of the new equipment VIII.3 Protection Detection and No IT staff has A formal, A specific party is The procedure Procedures Against protection detection, informally documented responsible for includes a cover: Malicious against protection defined procedure for defining and mechanism for All types of Software malicious measures, procedures for detecting and maintaining the evolution. Incidents virus and software. reporting, detecting and handling detection and are analyzed to malicious User or recovery handling malicious protection suggest software awareness of procedures malicious software and procedures, improvements. The incident procedures to exist, and software and virus attacks informing and toolset is Contingency deal with dealing virus attacks. exists and is training the users, continuously plans malicious with There are no communicated to managing the examined and Audit trails and software malicious common tools, all employees as detection and updated to provide similar Procedures software formal part of the recovery efforts, maximum protection Recover actions for reporting and virus documentation, corporate security and selecting and against changing and authority and recovery attacks is or training policy. A maintaining the treats. from virus entirely programs for all standard set of protective tools. attacks reactive employees. protective tools is and defined and handled in deployed. an ad hoc Training is given manner. to all employees. Policy No policy Software A software A specific party is List of authorized relating to or monitoring licensing policy responsible for software is licensed monitoring policies are is documented monitoring and periodically software and exists informal and and published to maintaining reviewed to conform prohibition of regarding performed on an all employees. authorized to the changing unauthorized software ad hoc basis. The software licenses needs of the software installation IT organization, for the enterprise. business. Software when involved in A software audits are reviewed software inventory and exceptions lead procurement, licensing tool is to corrective actions. applies controls used to monitor informally. and ensure compliance. VIII.4 Housekeeping Monitoring of No Informal Capacity plan and Ownership of the New technology, processing monitoring monitoring as capacity capacity plan and contractual power and exists. part of system management capacity agreements, and storage to Capacity management process covering management supplier selection ensure adjustments procedures processing process is defined. are continuously availability are performed on an power, memory, Formal researched and performed as needed basis. disc space, mechanism for introduced into the in reaction No management LAN/WAN business managers environment in to capacity plan or capacity, backup to place order to provide the problems. model is capacity, number requirements into necessary resources specifically of user the plan and a link while optimizing the defined. workstations, exists between the costs. physical space capacity planning and power. process and the budgeting process. VIII.5 Network Covered by other Management questions in this section VIII.6 Media Handling Procedures No IT staff has Formal, A specific party is Procedures are Media includes: and Security and controls procedures informally documented responsible for periodically IT computer to protect or controls defined procedures for defining and reviewed to address room media computer are in place procedures and protecting maintaining the changes in the type (e.g., backup media to protect controls for computer media procedures for the or volume of tapes, computer protecting exist and are access control computer media to removable hard media. computer media. communicated to systems and be handled. Audit drives, CD- There is no all employees as auditing of access logs are reviewed ROMs, etc.) formal part of the to computer media. and exceptions lead User media documentation, corporate security to corrective action. (e.g., CD- access logs, or policy. Controls ROMs, floppy training programs are in place to discs, etc.) for all employees. limit and track access to media. Training is given to all employees. VIII.7 Exchanges of Security of No defined No corporate A corporate A specific party is The standards are Standards for Information and exchange of procedures standard or policy standard for the responsible for periodically secure Software data and to secure exists addressing security exchange defining and reviewed to address exchange of software with the securing the of data and maintaining the changes to the data data and other exchange exchange of data software with standards for the being exchanged or software with organizations. of data or and software with other secure exchange the means of 3rd parties and software. other organizations is of data and exchanging. The outsourcing organizations. documented and software. An information vendors. published to all information classification policy Information employees. classification continually evolves. classification policy policy determines what can be and how it is transmitted. IX.1 Business Documentation No An informal, An access policy A specific party is The access policy Access rights Requirements of business awareness undocumented statement responsible for statement is encompasses for Access requirements or practice access control defining access defining and periodically accounts for Control for access of access practice is rights of each maintaining the reviewed to conform network, control. control. applied on an ad user or group of access policy to the changing operating Access policy hoc basis. users exists and is statement and needs of the system, and statement published. ensuring it is in business. Security application defining the alignment with incidents are access. access right of business reviewed and ACLs, user and system each user or requirements. modifications to the accounts, etc. group of users. access policy Automatic identification of Protection of statement are made terminals and portable connected where appropriate. devices. Timeout of services from remote systems unauthorized left unattended use. for extended Review of user periods of time access right and capabilities Policy concerning the use of network and network services. Network controls in place IX.2 User Access System of No An informal, A user account A specific party is The user account Deletion vs. Management formal control undocumented policy defining responsible for policy is disabling registration/de- over user account access rights, defining and periodically accounts. registration for access to practice is privilege levels, maintaining the reviewed to conform Unique id for access to IT IT applied on an ad and user account to the changing all users. services. services. hoc basis. creation/deletion policy. User needs of the Immediate rules exists and is account business. Audit account published. creation/deletion requirements are removal for records are reviewed and users who archived. modifications to the change duties user account policy or leave the are made where company. appropriate. User's Multiple accounts privilege in per individual are overriding created or deleted system/application through a single restriction. point of control. Record kept of all privileges allocated. System routine to grant privilege to users. Access control to program source library IX.3 User Security of user Passwords An informal, A published A specific party The password policy is Limit the number Responsibilities password. User are not undocumented password is responsible periodically reviewed of password password used. password policy defines for defining and to conform to the attempt before confidentiality practice is password maintaining the changing needs of the the system locks level applied on an strength (e.g., password policy. business. Periodic out the user. ad hoc basis. length, Record of audits (cracking) of Record and make inclusion of password passwords are user aware of special histories is performed to ensure unsuccessful characters), archived. compliance and logon attempts aging, and exceptions are noted, Enforcement of usage. documented, and password rules corrective action is taken. Good-practice No An informal, A good-practice A specific party A process exists to No display of guidelines to guidelines undocumented guidelines is responsible solicit suggestions for system identifiers users in exist. guidelines is statement is for defining and best-practice guidelines until logon has ensuring good provided to defined and maintaining the from internal and been successful security. users on an ad incorporated good-practice external sources and to General notice hoc basis. into user guidelines. incorporate them into warning that the training the organization's user system should programs. security guidelines. only be used by authorized users If error occurs at logon do not indicate what the error was Cryptographic No An informal, A good-practice A specific party A process exists to Controls guidelines undocumented guidelines is responsible solicit suggestions for exist. guidelines is statement is for defining and best-practice guidelines provided to defined and maintaining the from internal and users on an ad incorporated good-practice external sources and to hoc basis. into user guidelines. incorporate them into training the organization's user programs. The security guidelines. guidelines cover: encryption, digital signatures, key management, non-repudiation services IX.4 Network Covered in other area in this Access Control section IX.5 Operating Covered in other area in this System Access section Control IX.6 Application Covered in other area in this Access Control section IX.7 Monitoring Covered in other area in this System Access section and Use IX.8 Mobile Mobile No An informal, A good-practice A specific party A process exists to Laptop, Mobile, Computing and Computing and guidelines undocumented guidelines is responsible solicit suggestions for and Palmtop Teleworking Teleworking exist. guidelines is statement is for defining and best-practice guidelines security to ensure provided to defined and maintaining the from internal and company users on an ad incorporated good-practice external sources and to information is not hoc basis. into user guidelines. incorporate them into compromised. training the organization's user programs. security guidelines. X.1 Security Risk There is no An informal A published A specific party The risk assessment Requirements assessment and framework undocumented risk assessment is responsible and risk management of Systems risk of risk risk and risk for defining and policies are management assessment. assessment management maintaining the periodically reviewed used for and risk procedure risk assessment to conform to the analyzing management exists. and risk changing needs of the security practice is management business. Changes are requirement applied on an guidelines. made to the policy ad-hoc basis. An archive is where required. kept of the risks identified and the action taken to manage the risk. Safety check No safety An informal There is a A specific party The safety checks are while procuring checks are procedure documented is responsible regularly reviewed to new program carried out exists whereby procedure that for defining and ensure that they and software when new programs is followed maintaining the conform to the procuring and software before any software safety changing needs of the new are assessed software is check business. There is a software. before being purchased. guidelines. regular risk analysis is put in to the This ensures Modifications to carried out to ensure operational that all software vendor supplied safety of existing environment. purchased packages are systems and This task in conforms to made to comply compromise to their performed on company with system security is controlled. an ad-hoc security requirements Emphasis is given on basis. guidelines. and vendor quality certification of consent is new products. obtained before doing so. X.2 Security in Validation There is no An informal There is a A specific party The validation control Application control while validation process exists published is responsible procedure is regularly Systems data input to of where data is standard which for defining and reviewed to ensure that application information both verified describes the maintaining the they conform to the system on before it is validation tests validation changing needs of the Data validation application entered in to that are control business. Periodic of stored systems. applications performed. guidelines. audits are performed of information and existing There is a data on application Output Data data is documented systems to ensure Validation verified. Basic process which compliance. tests like is followed. Exceptions are noted, missing or documented and incomplete corrective action is data, invalid taken. characters in fields are performed on an ad-hoc basis. X.3 Cryptographic Cryptographic There are There is an There is a A specific party The cryptographic Controls control no informal documented is responsible controls are regularly cryptographic practice procedure for defining and reviewed to ensure that controls employed which defines maintaining the they conform to the or existing whereby some the steps which cryptography changing needs of the system files are outlines which control business. Audits are architecture encrypted. document guidelines. carried regularly to does not This is done at classifications Separate key ensure that information support the user need to be management that should be cryptography. discretion and encrypted and procedures are encrypted is kept on an ad-hoc the process to used for digital encrypted and that the basis. be followed to signatures and encryption method achieve this. encryption. used is adequate. Vulnerabilities There are There is a There is a A specific party The key management of no key process in documented is responsible system is regularly cryptographic management place where by key for defining and reviewed to ensure keys. procedures. suitable key management maintaining the they conform to the Key management system which key management changing needs of the management exists, based defines the system. business. Key system. upon an steps to be Separate key management needs are Documentation informal set of followed. This management reviewed and changes of key standards, ensures that the procedures are are made where management procedures and type of used for digital necessary. Audits are system secure algorithm and signatures and carried out to ensure (activation & methods. length of keys encryption. that the organization de-activation are considered Cryptographic maintains a recognized date, certificate to identify level keys have certification authority information) of defined to ensure key cryptographic activation and protection and efficient protection deactivation key management. dates. All keys are protected against modification and destruction in case of private key compromise. X.4 Security of Protection and No change An informal There is a A specific party The change control System Files control of control procedure documented is responsible policy is regularly system test procedure exists for standard for defining and reviewed to ensure data. in place and change available to maintaining the that it conforms to Change control no control. This employs change control the changing needs procedure provisions task is describing the guidelines. of the business. Control of for the performed on procedures to Version control Version control operational protection an ad-hoc follow to ensure for software logs are audited and software of system basis. that the change update is any exceptions are test data. control maintained and documented, noted procedures are archives are kept and corrective followed of all versions. action is taken if correctly necessary. X.5 Security in Awareness of There is no An informal There is a A specific party The software The new software is Development software process in procedure documented is responsible update policy is put in a test and Support upgrade to place to exists to standard for defining and regularly reviewed environment to check Processes enhance the monitor monitor available to maintaining the to ensure that it for anomalies with security level security risk vendor web employees software update conforms to the security policies posed by sites to obtain describing the guidelines. An changing needs of before software software procedures to archive is kept the business. implementation installed on updates. This follow to ensure of all software Periodic audits are machines. task is that all software upgrades. performed of Software performed on installed on Change control software upgrades upgrade an ad-hoc their machines procedures and to ensure does not basis. is of the latest contractual compliance. take into Security issues version. agreements exist Exceptions are account the defined by the All security to escalate noted, documented security of vendors are issues with the security issues to and corrective the new only new release appropriate action is taken if releases considered. specific to levels and necessary. organizational remedy them. system platform are identified and confirmed with the vendor. XI.1 Aspects of Contents of No plan. There is some There is a Employees are Includes process Risk analysis of critical Business Business knowledge of written and trained, and for improvement business processes. Continuity Continuity what to do in properly training is after each Identifies events that Management Process case of disaster distributed plan. periodically invocation. can cause interruptions Procedures and (e.g., based on Process refreshed. to business processes, Schedules training or on includes: Plan includes and includes assessment Included in the prior Fallback alternate of the impact of those Process experience) procedures communication interruptions. but no Resumption methods if documented procedures communication process. Maintenance is severely schedules affected. Process also includes: Assignment of responsibilities Conditions for activation Development of Plan does A set of There is a The The process is Business continuity Business not exist. measures can written business management reviewed in case process covers events Continuity Some be applied in continuity chain of change in that are specific to the Process awareness case of a process that responsible for system, staff, local environment (i.e., Testing of of measures business includes risks, executing the disaster recovery flood, power outage, Business that can be interruption. events, roles business contractor or political unrest, fire, Continuity taken in They do not and continuity contract, hurricane, earthquakes, Process case of a constitute responsibilities, process is business, etc.) and business needs Review and business formal, technical define, and all application, (i.e., credit card center Update of interruption. defined, measures, managers and locations, or cannot be down more Continuity Actions published, or reporting, and staff know what legislation. than a few minutes) Process would occur managed plan. communication. the chain is. Post-mortem Reasons that in an ad hoc The plan has Testing occurs at reviews after Cause Review manner. been tested at least annually execution with of the Plan least once. and maintains documented the business improvement continuity actions. process. XII.1 Compliance Restrictions in No Ad hoc Systematic Clear Periodic review Copyright policy with Legal Place on the restrictions restriction on restrictions, responsibility to of the policy for Acquisition procedures Requirements Use of in place. some documented, enforce the continuing Copyright awareness Materials for documents based on the restrictions. improvement. information Which There only. information Training is Periodic review Maintenance of licenses May Be classification provided. of the Check on software Intellectual Employees are restrictions to held/used Property Rights aware. make sure Policy on software they're disposal appropriate. Compliance with licenses Safeguards No Some Clear Safeguards in Periodic review Personnel information against loss, safeguards organizational responsibilities place covering of systems in Copyright information destruction or employed. data backed up to ensure that all place and Company confidential falsification of No defined and secured. organization organizational security of information organizational hierarchy as Backups may records are not records. systems that deal Public web sites records to whom be kept onsite. compromised. Training with has access No logs kept Some user provided to organizational to what of user activity is educate users. records. Each information. activity. logged. Management incident is Organizational responsibly to subject to a post data is kept ensure that mortem securely. records are kept procedure that Documents are accurate and includes a publicly secure. Access review of available that rights and whether describe the privileges in applicable policy and place to restrict policies were procedures that access to certain correctly employees organizational communicated. should follow records. Web Users are taught to maintain sites protected the incident integrity and from reporting safety of defacement. procedures. Full organizational Critical files audit logs records. identified and maintained with protected against system falsification by start/finish CRC checks, times, system etc. errors and corrective action and name of person making alterations to the information. Compliance Knowledge Data Legislation is Processes and There is a with data of protection applied and procedures are regular process protection legislation legislation is Data protection put in to place in place to legislation is limited to discussed with legislation is for monitoring review changes specific employees and made available to ensure that the in legislation, or people or contract or to employees in company is new needs of the departments temporary a centralized continually business. (HR, Legal, personnel location. compliant. The Training is etc.) and is upon hiring Impact of responsibility to provided to not into specific legislation and do so is clearly users to ensure documented. departments. concerned data assigned. the continued has been compliance with written up and legislation. The made available process and to employees. responsibility to All affected receive, processes investigate and include correct any appropriate reported protection exception is steps. defined. Compliance of No Standards and Standards and A clearly There is a regular Intellectual Property information published codes of codes of designated process in place to Rights systems with codes of practice are practice are person or body review changes in Copyright published practice and generally defined and has published standards Data Protection Act standards or no understood but published responsibility for or codes of codes of awareness are applied internally and the reviewing, practice. Findings practice inconsistently are made maintaining, and of non-compliance through the available to training users on result in corrective organization. employees in a the published action. centralized standards or location. codes of practice. XII.2 Reviews of Documentation No Some Documents are Responsibilities Documents are Laws on protection Security Policy of regulatory documentation documentation made publicly are assigned to created as soon as and/or correction of and Technical and contractual exists. exists although available on the individuals to there is a change in personal information Compliance requirements it does not corporate web produce the contractual or (employees and/or for each cover all site or on a documents as regulatory clients, suppliers, information details of public notice soon as a new requirements of the etc.) system regulatory/cont board. Full system is project. Procedures for ractual documentation sourced. Documentation is disclosure to proper requirements exists for Templates exist available to authorities. for each IS. contractual and for the creation personnel with ISO 9000 There is no regulatory of documents correct clearance. requirements standard requirements and there is a Periodic inventory Regulatory agencies document for all central of information (e.g., FDA or FCC in template used, information repository where systems includes the United States) documents are systems in the they are stored. checks that created as and organization. The templates compliance when required have designated requirements exist. by individual owners. Exceptions trigger employees. a well-defined There is no process to review central data procedures in order store for the to eliminate this documents risk. (need to ask people who know). XII.3 System Audit Control Against No controls Terms of use Terms of use of The Periodic reviews of Considerations Computer or of computer organizations responsibility of who is authorized Misuse safeguards equipment are computer managers is to do what. Safeguard of in place discussed with equipment are defined. Tools Information Audit Tools to employees and available from a employed to gathered from Prevent Misuse contract or centralized monitor usage of monitoring tools is temporary location computer used to make personnel (Intranet site, equipment. decisions for future upon hiring. office notice Staff has well policy. boards, etc) defined roles There is an incident and access rights review procedure. to computer file Periodic “white systems. hat” intrusion Personnel are attempts are made made aware that and followed by their computer corrective actions. related activities are being monitored, and to what extent. Review/Audit No process Occasionally Reviewed at A clearly There is a defined of information is in place reviewed or intervals, but no designated mechanism to systems to audited if clear person or body review and upgrade ensure they are senior management has the policy after in compliance management, responsibility to responsibility for every security with security auditors, etc., trigger reviews the process, and incident (Is policies and ask of exploit reviews it anything missing standards results regularly. from the policy that could have prevented the problem?) Coverage of No Few Clear Audit tools are Safeguards in place System Regime coverage safeguards in responsibilities only available covering all audit (event logging) exists. place. Audit to ensure that for use by key tools. Periodic tools are not audit tools are personnel. review of systems managed not misused. Access rights in place and securely and Training and privileges security of systems user access is provided to are enforced to that audit systems. not monitored. educate users. maintain Users are educated security. on the importance of safeguarding their audit tools. Compliance of No Standards and Standards and A clearly There is a regular Intellectual Property information published codes of codes of designated process in place to Rights systems with codes of practice are practice are person or body review changes in Copyright published practice and generally defined and has published standards Data Protection Act standards or no understood but published responsibility for or codes of codes of awareness are applied internally and the reviewing, practice. Findings practice inconsistently are made maintaining, and of non-compliance through the available to training users on result in corrective organization. employees in a the published action. centralized standards or location. codes of practice.

[0026] Referring to the Security Assessment Matrix shown in Table 1, to perform the assessment for a given item, the assessment entity need only perform the following steps: (i) find the item in question, first by category then by sub-category; (ii) read the descriptions under each maturity level and determine if requirements of that maturity level are met; and (iii) record the highest maturity level for that item that is met by the organization's current information security policies and practices.

[0027] Once the preliminary rating has been completed, it may be displayed in a graphical manner. In one embodiment of the invention, the preliminary rating is displayed using a Security Maturity Assessment Reporting Tool (SMART). SMART allows the preliminary rating to be shown at a detailed level, i.e., all 61 elements are shown, or at a summary level, i.e., only 10 broad categories are shown. Further, SMART allows the organization to compare the preliminary rating to a predefined goal, an industry average, or to a prior assessment. Additionally, the layout of the SMART report allows an organization to readily identify areas that require improvement.

[0028]FIG. 3 illustrates a portion of a SMART report in accordance with one or more embodiments of the invention. A first column (10) lists the broad categories. A second column (12) lists the items within each of the categories.

[0029] A third column (14) graphically represents the “assessed capability maturity” (ACM) (16). The third column is sub-divided into five levels (L1, L2, L3, L4, and L5) corresponding to the maturity levels listed above. For each item, the ACM is represented by shading the corresponding row up to the appropriate level. If the ACM is not at a goal (18), i.e., the level at which the organization wishes to be for the particular item, then an additional shading representing a gap (20) between the goal (18) and the ACM (16) is present.

[0030] For example, in FIG. 3, Category 2 contains four items: Item D (2), Item E (4), Item F (6), and Item G (8). Specifically, looking at Item G (8), the ACM (16) is at level 2 (22), while the goal (18) is at level 3 (24). Thus, a gap (20) is present between level 2 (22) and level 3 (24) on the row containing Item G (8). Thus, the organization can readily see that Item G (8) is below the goal (18). By contrast, the organization can also readily see that capability maturity level for Item F (6) is at the goal (26) set for this item, so there is no gap relative to Item F (6).

[0031] Returning back to the SMA phase, once the preliminary rating has been completed, the assessment entity reviews the preliminary rating with the organization. During the review, the preliminary rating may be revised, if necessary. Once this has been completed, a final rating is generated.

[0032] During the corrective action plan (CAP) phase, the CAP is generated using the final rating and the Security Assessment Matrix. The proposed actions are aimed at improving the items that have gaps and bringing the items Up to the goal. Additionally, items in the CAP may also be prioritized according to the needs and resources of the organization. During the corrective action plan execution phase, the CAP is executed. For example, if the SAM states that for a certain item to be at Level 3, “the policy is written down,” and to be at Level 4, “there is an assigned manager in charge of applying this policy,” then it follows that if an organization is assessed at Level 3 for this item, and its goal is to be at Level 4, then the CAP should include the following action: “Put a manager in charge of this policy.”

[0033] The monitoring phase of the SMA includes periodic SMART reports to ensure that goals are met and maintained. Further, during this phase, the assessment entity may detect change in the environment that might require additions or changes to the security practices and/or policies. Additionally, during the monitoring phase, the assessment entity may provide assistance for debriefing the organization in the event of an information security incident. In one or more embodiments of the invention, the monitoring phase is optional.

[0034]FIG. 4 illustrates a flowchart detailing the SMA method in accordance with another embodiment of the invention. Initially, the organization's business goals are determined (Step 112), as well as the associated risk in terms of information security (Step 114). Written documentation is then collected about the organization's existing information security policies and practices (Step 116). Additional information is then collected via interviews (Step 118). Using the information gathered in Steps 112 through 118, the SAM rating is generated (Step 120). If additional information is obtained (Step 122), then step 120 may be repeated. If no additional information is obtained (Step 122), then a list of corrective actions is proposed (Step 124). The corrective actions are subsequently prioritized (Step 126) and executed (Step 128) to generate modified information security policies and procedures. The modified information security policies and procedures are then monitored (Step 130). If there is a change in the information security environment, e.g., a first organization merges with a second organization resulting in the first organization's network being integrated into the second organization's network, or if the time for a periodic review arrives (Step 132), then the process proceeds back to Step 116.

[0035] The invention, in one or more embodiments, may have one or more of the following advantages. The SMA method is a systematic approach that includes a process, a detailed method for assessment (i.e., SAM), and a reporting tool (i.e., SMART). Further, the SMA method covers all aspects of information security and explicitly defines what each level means for each item. Further, the SMA method is action oriented. Further, each item is assessed as a capability maturity rather than pass/fail, allowing an organization to readily gauge where the organization is with respect to a particular information security item and to measure progress over time or against a goal, even if that progress is gradual. Additionally, the security assessment matrix may be used as a list of recommendations to detail how the organization may attain its information security goals.

[0036] Further, the SMA method is easy to apply, as each item and corresponding set of criteria for each maturity level associated with the item are clearly defined. Further, the SMA method is flexible, as it may be used for multiple purposes. For example, the SMA may be used for the purpose of establishing to a customer or regulatory authority that an organization has the required capability to perform a certain task. The SMA may also be used for the purpose of internally monitoring, over time, improvements decided by the organization's management. The SMA may also be used for the purpose of meeting a certain industry standard or reaching a goal established through analysis of the competition's security capabilities.

[0037] Further, the invention produces an objective rating of an organization's information security practices and policies removing the subjective element of the assessment process.

[0038] While the invention has been described with respect to a limited number of embodiments, those skilled in the art, having benefit of this disclosure, will appreciate that other embodiments can be devised which do not depart from the scope of the invention as disclosed herein. Accordingly, the scope of the invention should be limited only by the attached claims. 

What is claimed is:
 1. A method for assessing an information security policy and practice of an organization, comprising: determining a risk associated with the information security policy and practice; collecting information about the information security policy and practice; generating a rating using a security maturity assessment matrix, the collected information, and the risk associated with the information security policy and practice; generating a list of corrective actions using the rating; executing the list of corrective actions to create a new security information policy and practice; and monitoring the new security information policy and practice.
 2. The method of claim 1, further comprising: generating a new rating using the security capability assessment matrix when there is a change in an information security environment of the organization.
 3. The method of claim 1, further comprising: generating a graphical assessment of the rating.
 4. The method of claim 3, wherein the graphical assessment of the rating is generated by a security maturity assessment reporting tool.
 5. The method of claim 4, wherein the security maturity assessment reporting tool comprises functionality to track the rating of the security information policy and practice over time.
 6. The method of claim 4, wherein the security maturity assessment reporting tool comprises functionality to graphically compare the rating to a rating goal.
 7. The method of claim 1, the collecting information comprising collection of documentation detailing the information security policy and practice of the organization.
 8. The method of claim 1, the security assessment matrix comprising a matrix in which each of a plurality of columns denote a maturity level and each of a plurality of rows denote a particular information security feature such that the intersection of one of the plurality of columns with one of the plurality of rows is a capability maturity level.
 9. The method of claim 8, wherein each of the plurality of rows is a grouping of British Standards Institution 7799 items.
 10. The method of claim 8, wherein each of the plurality of rows is a grouping of a set of controls outlining best mode practices in information security.
 11. The method of claim 8, wherein each of the plurality of rows is a grouping of International Organization for Standardization 17799 items.
 12. The method of claim 8, wherein each of the plurality of columns is a maturity level defined in accordance with the Capability Maturity Model of the Software Engineering Institute.
 13. The method of claim 9, the grouping of British Standards Institution 7799 items comprising a British Standards Institution 7799 category.
 14. The method of claim 11, the grouping of International Organization for Standardization 17799 items comprising an International Organization for Standardization 17799 category.
 15. The method of claim 1, the generating the list of corrective actions comprising comparing a description of a current maturity level of an organization for each of a plurality of information security items in the security assessment matrix with a description of a desired maturity level for each of the plurality of information security items.
 16. An apparatus for assessing an information security policy and practice of an organization, comprising: means for determining a risk associated with the information security policy and practice; means for collecting information about the information security policy and practice; means for generating a rating using a security maturity assessment matrix, the collected information, and the risk associated with the information security policy and practice; means for generating a list of corrective actions using the rating; means for executing the list of corrective actions to create a new security information policy; and means for monitoring the new security information policy.
 17. The apparatus of claim 16, further comprising: means for generating a new rating using the security maturity assessment matrix if there is a change in the information security environment of the organization.
 18. A computer system for assessing an information security policy and practice of an organization, comprising: a processor; a memory; an input means; and software instructions stored in the memory for enabling the computer system under control of the processor, to perform: determining a risk associated with the information security policy and practice; collecting information about the information security policy and practice using the input means; generating a rating using a security maturity assessment matrix, the collected information, and the risk associated with the information security policy and practice; generating a list of corrective actions using the rating; executing the list of corrective actions to create a new security information policy and practice; and monitoring the new security information policy and practice.
 19. The computer system of claim 18, further comprising: software instructions to perform generating a new rating using the security maturity assessment matrix if there is a change in the information security environment of the organization. 